Applied Optoelectronics (AAOI) officer sells 6,000 shares under 10b5-1 plan

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. officer Yeh Shu-Hua (Joshua) reported an open-market sale of 6,000 shares of common stock. The weighted average sale price was $171.89 per share, with actual prices ranging from $171.00 to $173.51.

The transactions were executed under a Rule 10b5-1 trading plan adopted by the reporting person on June 18, 2026. Following these sales, he directly holds 394,207 shares of Applied Optoelectronics common stock.

Insider Trade Summary 10b5-1

Net Seller: 6,000 shares ($1,031,340)

Net Sell 1 txn

Insider Yeh Shu-Hua (Joshua)

Role *** See Remarks

Sold 6,000 shs ($1.03M)

Type	Security	Shares	Price	Value
Sale	Common Stock, $.001 par value	6,000	$171.89	$1.03M

Holdings After Transaction: Common Stock, $.001 par value — 394,207 shares (Direct, null)

Footnotes (1)

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Key Figures

Shares sold: 6,000 shares Weighted average sale price: $171.89 per share Sale price range: $171.00–$173.51 per share +1 more

4 metrics

Shares sold 6,000 shares Open-market sale on June 18, 2026

Weighted average sale price $171.89 per share Common stock sale

Sale price range $171.00–$173.51 per share Multiple transactions same day

Shares owned after sale 394,207 shares Direct ownership following transaction

Key Terms

Rule 10b5-1 trading plan, weighted average sale price, open-market sale

3 terms

Rule 10b5-1 trading plan regulatory

"These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 18, 2026."

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

weighted average sale price financial

"The price reported reflects the weighted average sale price for the transactions."

open-market sale financial

"transaction_action: "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

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Form 4 Insider Transactions: What Each Field Means →

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Yeh Shu-Hua (Joshua)

(Last) (First) (Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13139 JESS PIRTLE BLVD.

(Street)

SUGAR LAND TEXAS 77478

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
APPLIED OPTOELECTRONICS, INC. [ AAOI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	*** See Remarks

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/18/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, $.001 par value	06/18/2026		S		6,000(1)	D	$171.89	394,207	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 18, 2026. The shares were sold in multiple transactions at actual sale prices ranging from $171.00 to $173.51 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.

Remarks:

***Senior Vice President and Asia General Manager.

	/s/ David C. Kuo, attorney in fact for Shu-Hua (Joshua) Yeh	06/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transaction did AAOI officer Yeh Shu-Hua report?

He reported an open-market sale of 6,000 shares of Applied Optoelectronics common stock. The weighted average sale price was $171.89 per share, with individual trades executed between $171.00 and $173.51 under a pre-arranged trading plan.

At what prices did the AAOI insider sell his shares?

The shares were sold at prices ranging from $171.00 to $173.51 per share. The reported transaction price of $171.89 per share reflects the weighted average of multiple trades executed on the same day under the trading plan.

How many AAOI shares does the insider hold after this sale?

After selling 6,000 shares, the reporting person directly holds 394,207 shares of Applied Optoelectronics common stock. This post-transaction figure comes directly from the Form 4 and represents his remaining direct ownership position.

Was the AAOI insider sale made under a Rule 10b5-1 trading plan?

Yes, the sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 18, 2026. Such plans pre-arrange trades, reducing the significance of trade timing as an indicator of the insider’s short-term views.

What does the Form 4 transaction code mean for the AAOI insider trade?

The Form 4 lists transaction code “S,” which denotes a sale in an open market or private transaction. The filing further specifies this as an open-market sale of common stock at the disclosed price range and weighted average price.